Charged for Not Filing Security? A Minnesota Lawyer on Protecting Your Public Career Under § 609.435.
You stepped up to serve your community. You put your name forward, won an election, or accepted an appointment to a public position, ready to make a difference. The last thing you ever expected was to be charged with a crime for it. Yet, here you are, facing a charge under Minnesota Statute § 609.435, accused of performing your official duties without filing the required security or bond. It feels like a bureaucratic nightmare, a paperwork violation that has somehow escalated into a criminal matter that threatens your reputation and your future in public service.
This is a strange and unsettling accusation. You may not have even been aware that a bond or other security was required for your position. Perhaps you thought someone else in the administration was handling it, or maybe the instructions you received were unclear or incomplete. Now, a simple oversight is being treated as a criminal act. A prosecutor is poised to brand you with a criminal record for an administrative error. As a Minnesota criminal defense attorney who has helped public officers across the state—from small-town officials in Greater Minnesota to appointed board members in Minneapolis, St. Paul, and Rochester—I have seen how these unusual charges can derail a promising career. You do not have to let a paperwork mistake define your future. You have defenses, and with the right strategy, we can fight this.
What Does “Officer Not Filing Security” Actually Mean?
At its heart, this crime is about failing to complete a critical administrative step before exercising the powers of a public office. In Minnesota, certain public positions require the officeholder to file a form of “security,” which is typically a surety bond. This bond acts as a financial guarantee to the public, ensuring that the officer will perform their duties faithfully and honestly. A charge for Officer Not Filing Security alleges that you knew this requirement existed, failed to meet it, and went ahead and started performing your official duties anyway.
The prosecutor isn’t necessarily accusing you of corruption or theft; they are accusing you of intentionally ignoring a legal prerequisite for holding your office. The law is designed to ensure that all public officers are properly vetted and insured before they have the power to make decisions, handle money, or take other official actions. A Minnesota charge for failing to file security can apply to a wide range of positions, from a newly elected county treasurer in Duluth to a member of a special district board in Bloomington. It is a serious matter that the state uses to enforce its administrative rules with criminal penalties.
The Law on Filing Security — Straight from the Statute
The entire case against you is based on the short but powerful text of Minnesota Statute § 609.435. To build an effective defense, you must first understand the precise language the prosecutor will use to try and convict you. The law is direct and leaves little room for error if the state can prove all its elements.
Here is the full text of the statute:
609.435 OFFICER NOT FILING SECURITY.
Whoever intentionally performs the functions of a public officer without having executed and duly filed the required security is guilty of a misdemeanor.
Breaking Down the Legal Elements of a § 609.435 Charge
To convict you of Officer Not Filing Security, the prosecutor must prove three distinct elements beyond a reasonable doubt. If we can create reasonable doubt about even one of these components, the state’s case fails. My entire defense strategy will be built around dismantling the prosecution’s ability to prove each and every one of these elements, showing that your situation does not fit the definition of this crime.
- Performing the Functions of a Public Officer: The state must first prove that you were, in fact, acting as a “public officer.” This means you were taking actions that only someone in your official capacity could take—signing official documents, voting in a council meeting, accessing restricted records, or making administrative decisions. If you had been elected or appointed but had not yet taken any official action, this element cannot be met.
- A “Required” Security Was Not Filed: The prosecution must demonstrate that a specific security, like a surety bond, was legally “required” for your particular office under Minnesota law or a local ordinance. It is not enough for them to say it’s “customary”; it must be a mandate. Furthermore, they must prove that you failed to execute (sign) and duly file this security with the proper authority before you began your duties.
- Intentional Conduct: This is the most critical element and the ground on which most of these cases are won or lost. The statute requires that you acted “intentionally.” This means the prosecutor must prove that you made a conscious decision to perform your duties knowing that you had not filed the required security. A simple oversight, a mistake, a misunderstanding, or being given bad information is not a crime. They must prove it was a deliberate choice.
The Penalties for a Conviction Can Harm Your Public Career
While classified as a misdemeanor, a conviction for Officer Not Filing Security can have consequences far more severe than a simple fine, especially for someone in public life. The conviction creates a permanent criminal record that suggests a disregard for the rules and responsibilities of public office. It can be a significant obstacle to your current role and any future aspirations you may have in public service or the private sector. You must fight to avoid this outcome.
Misdemeanor Penalties for Failing to File Security
If you are convicted under Minnesota Statute § 609.435, you face the standard penalties for a misdemeanor in Minnesota:
- Up to 90 days in jail.
- A fine of up to $1,000.
- A combination of jail time and a fine.
The true penalty, however, is the criminal record. A conviction for a crime related to your public duties can be used as grounds for your removal from office and can permanently damage the reputation you have worked so hard to build. The sentencing for failing to file security is less about punishment and more about creating a public record of your failure, a record that can follow you forever.
How This Charge Plays Out in Real Life — Minnesota Scenarios
This is not a crime born from malice, but rather one that often arises from the confusing and sometimes overwhelming process of stepping into a new public role. Good people with the best intentions can find themselves charged because of a simple, honest mistake.
Here are a few common scenarios where someone could be charged with Officer Not Filing Security in Minnesota:
The Newly Elected Township Officer in Greater Minnesota
A farmer is elected to the town board of a small township in rural Minnesota. The county auditor sends a large packet of onboarding paperwork, and amid the dozens of forms, there is a requirement to secure a small surety bond. Overwhelmed and focused on the pressing issues of the township, the new officer overlooks the form. They attend their first meeting and vote on a zoning issue, thereby performing the functions of their office before the bond is filed.
The Appointed Board Member in Maple Grove
A local business owner in Maple Grove is appointed to a special service district board. The city ordinance that created the board requires all members to be bonded. The city administrator, who is new to their role, forgets to inform the new appointee of this requirement. The appointee serves for months, making decisions and voting on financial matters, completely unaware that they have been in violation of the law since their first day.
The Notary Public in St. Paul
A legal assistant in St. Paul applies to become a notary public. Their application is approved, but they are required to file a bond with the Secretary of State’s office before they can notarize any documents. Eager to begin, they notarize a document for a colleague before their bond has been officially processed and filed. This single act of performing their duties prematurely constitutes a violation of the statute.
The County Official in Hennepin County
After a close election, a new Hennepin County official is sworn in. They are told by a staff member that all their required paperwork, including their bond, has been “taken care of.” Relying on this incorrect information, the official begins their work. Months later, an audit reveals the bond was never actually filed. Despite their good faith reliance on their staff, they could still be charged under the statute.
Legal Defenses That Can Defeat a Charge of Failing to File Security
When you are facing a charge like this, it can feel like you are guilty of a technicality with no way out. That is not true. The law provides strong defenses, and the burden of proof is entirely on the prosecutor. My job is to build a defense that highlights the nuances of your case and shows that your situation does not meet the strict requirements for a criminal conviction. We will meticulously review the statutes, ordinances, and the facts surrounding your appointment or election to find the weaknesses in the state’s case.
A prosecutor may see this as a simple, open-and-shut case. We will show them it is anything but. By challenging the state’s evidence and presenting a compelling narrative of a simple mistake rather than a criminal act, we can work toward a dismissal, a reduction of the charge, or a not-guilty verdict that protects your record and your career.
You Did Not Act “Intentionally”
This is the most powerful defense against a § 609.435 charge. The state must prove you made a conscious and deliberate decision to perform your duties while knowing the required security was not on file.
- It Was an Honest Mistake: We can argue that the failure to file was a simple oversight, not an intentional act. We can present evidence of the confusing or voluminous paperwork you received, or the lack of clear instructions, to show that you were not aware of the requirement or that you believed it had been satisfied. A mistake is not a crime.
- Good Faith Reliance on Others: If you were told by a clerk, an administrator, or another official that your paperwork was complete, we can argue that you were acting in good faith. Your reliance on their assurances demonstrates that you had no intention of violating the law. Your intent was to comply, even if the information you received was wrong.
The Security Was Not Legally “Required”
The state must prove that the security was mandated by law for your specific position. We can challenge this element directly.
- No Statutory Requirement: We will conduct a thorough legal review of the state statutes and local ordinances that govern your office. If we can show there is no clear, unambiguous law that mandates a bond or other security for your exact position, the case must be dismissed. Custom or past practice is not enough; it must be a legal requirement.
- The Requirement Was Waived or Repealed: Laws and rules change. We will investigate whether the bonding requirement for your position was previously waived by the governing body or repealed by a change in the law. A prosecutor may be relying on an outdated ordinance that is no longer in effect.
You Did Not Perform the “Functions of a Public Officer”
The crime is not just holding the office; it’s performing the functions of the office.
- No Official Acts Were Taken: If we can show that you had not yet taken any official action before the paperwork issue was discovered and rectified, you have not committed a crime. For example, if you were sworn in but hadn’t yet attended a meeting, signed a document, or made a decision, the state cannot prove this essential element of the offense.
- Preliminary or Administrative Tasks: We can argue that the actions you did take were merely preparatory or administrative, and did not rise to the level of exercising the core functions of your public office. Handing out a business card or talking to constituents is very different from voting on a budget.
Minnesota Officer Not Filing Security FAQs — Your Questions Answered
Can I really go to jail for a paperwork mistake?
Yes, the statute carries a maximum penalty of 90 days in jail. While it is unlikely a judge would impose jail time for a first-time offense of this nature, the possibility exists, which is why the charge must be taken seriously and defended vigorously.
What exactly is a “security” or “surety bond”?
A surety bond is a three-party agreement where a bonding company guarantees to a government entity (the obligee) that you (the principal) will faithfully perform your duties. If you fail to do so, the bonding company will cover the financial loss, up to the bond amount. It is essentially an insurance policy for the public.
How can I make this charge go away by just filing the bond now?
While filing the bond immediately is the right thing to do, it does not automatically erase the criminal charge. The crime, as the state sees it, was performing your duties before the bond was filed. However, taking immediate corrective action is a powerful mitigating factor that we can use to negotiate with the prosecutor for a dismissal.
How would anyone even find out I didn’t file my bond?
This is often discovered during a routine internal or external audit of a government agency. It can also be uncovered by a political opponent looking for an issue, or by a citizen who requests public records. Once the oversight is discovered, it can be reported to law enforcement.
Do I need a lawyer for a misdemeanor charge in Plymouth?
Absolutely. Any criminal charge, including a misdemeanor, can result in a permanent criminal record that can damage your career and reputation. For a public official in Plymouth or anywhere in Minnesota, the stakes are far too high to face this alone.
What if I honestly didn’t know a bond was required?
This is the core of the “lack of intent” defense. If you genuinely did not know about the requirement, then you did not “intentionally” perform your duties without it. We would build a case with evidence to show why you were unaware of the rule, arguing that your lack of knowledge means you are not guilty of the crime.
Is this a common crime in Minnesota?
No, it is a relatively rare charge. When it is filed, it is often because a prosecutor wants to send a message about administrative compliance or because the oversight was discovered in a politically charged context. Its rarity means many attorneys may not be familiar with it, making it crucial to have a lawyer who understands the specific elements of this offense.
Could this charge force me to leave my public office?
A conviction could be used as grounds to initiate proceedings for your removal from office, as it represents a failure to meet the legal qualifications for the position. The best way to protect your position is to avoid a conviction altogether.
What if the amount of the required bond was never specified?
If the law requiring the bond is vague and does not specify an amount or the process for obtaining it, we can argue that the requirement is void for vagueness. You cannot be expected to comply with a legal mandate that is unclear or impossible to follow.
Will this show up on a background check for a private sector job?
Yes. A misdemeanor conviction is a part of your public criminal record and will appear on most standard background checks for employment, housing, and professional licenses. This can create significant hurdles for you even outside of public service.
What’s the difference between this and Misconduct of a Public Officer (§ 609.43)?
Officer Not Filing Security is a specific, administrative crime about failing to meet a prerequisite for office. Misconduct of a Public Officer (§ 609.43) is a more serious gross misdemeanor that involves a corrupt act while in office, like intentionally exceeding your authority or filing a false report.
Can I be charged if I’m just a volunteer on a city board in Eagan?
It depends on the specific ordinance governing that board. If the Eagan city code requires volunteer members of that particular board to be bonded, then you are subject to the same law as an elected, paid official. We would need to research the specific local rules.
How can a prosecutor prove my intent?
They will try to use circumstantial evidence. For example, they might produce a form you signed acknowledging you received a packet of rules that included the bond requirement. Our job is to counter that evidence and show that even if you received the information, your failure to act on it was an oversight, not a deliberate choice.
What is the very first thing I should do if I am charged?
Contact a Minnesota criminal defense attorney immediately. Do not try to explain the situation to law enforcement, your colleagues, or the media. Anything you say can be used against you. Your first and only conversation should be a confidential one with your lawyer.
The Lingering Shadow of a “Paperwork” Conviction
It is a grave mistake to dismiss this as a minor “paperwork crime.” A conviction for Officer Not Filing Security creates a permanent public record that you failed to meet the basic legal requirements of your office. This official finding can cast a long and damaging shadow over your personal and professional life, creating obstacles long after the court case is over.
A Permanent Mark on Your Public Record
A conviction means you will have a criminal record. This can be a significant impediment to your current role and a nearly insurmountable barrier to seeking higher office or other positions of public trust in the future. Political opponents can and will use this conviction to portray you as someone who disregards the law, regardless of the actual context of your case. It becomes a permanent part of your story that you will be forced to explain for the rest of your life.
The Impact on Your Professional Reputation
Your reputation is your most valuable asset, especially in public life. A conviction for a crime related to your official duties, no matter how minor it seems, can cause irreparable harm. It can erode the trust of your constituents, your colleagues, and your community. The label of a “convicted official” can be incredibly difficult to shake, affecting your credibility and effectiveness in your role.
Hurdles in the Private Sector
The damage is not confined to public service. A criminal record will appear on background checks for jobs, professional licenses, and even volunteer positions in the private sector. You may find yourself disqualified from consideration for roles you are otherwise perfectly qualified for. The conviction can limit your career options and financial opportunities in unexpected ways.
Potential for Civil Liability or Removal from Office
While the criminal case is the immediate threat, a conviction could open the door to other problems. It could be used as evidence in a civil lawsuit against you or as the basis for a formal proceeding to have you removed from your office. Avoiding the criminal conviction is the best way to protect yourself from these cascading collateral consequences.
Why a Dedicated Minnesota Defense Attorney is Essential
When you are facing a criminal charge that stems from your public service, you are in a unique and precarious position. This is not a standard criminal case, and you cannot afford a standard defense. You need an attorney who understands the specific nuances of this law and who is committed to protecting not just your freedom, but your career and your good name.
A Strategy Focused on Your Specific Role
Your defense must be tailored to the specific public office you hold. The laws and ordinances governing a county commissioner in Ramsey County are different from those for a town board member in a small community. I will conduct a deep dive into the specific legal framework that applies to you, looking for the technicalities and ambiguities that can be used to dismantle the prosecutor’s case. This is not a one-size-fits-all defense; it is a strategy built around you.
Turning a “Technicality” into a Powerful Defense
The state’s case against you is based on a technicality, and we will fight back with a defense that is even more technically sound. We will scrutinize the state’s evidence and legal arguments for any flaw. Was the bond truly “required” by law? Were you properly notified? Can they prove, beyond a reasonable doubt, that your failure to file was “intentional”? I will use my knowledge of criminal law and procedure to turn the state’s technical case back on them, arguing for a dismissal on legal grounds.
Protecting Your Reputation and Career Above All
I understand that for you, this fight is about more than avoiding a fine. It’s about protecting your reputation, your career, and your future. My goal is to resolve this matter as quickly and quietly as possible, with the best possible outcome being a full dismissal of the charges. I will negotiate aggressively with the prosecutor, armed with a strong legal and factual defense, to persuade them that pursuing this case is not in the interest of justice.
The Advantage of Focused, Experienced Counsel
You need an attorney who will give your case the personal attention it deserves. As a solo practitioner, your case will be my priority. You will not be passed off to a less experienced associate. I will be the one answering your calls, representing you in court, and fighting for you every step of the way. When your career is on the line, you deserve nothing less than a focused, determined, and experienced advocate dedicated to achieving a complete victory on your behalf.